O'Connor-Roche v. Bayles
| New York Southern District Court | |
| Judge: | Louis L Stanton |
| Case #: | 1:22-cv-01467 |
| Nature of Suit | 896 Other Statutes - Arbitration |
| Cause | 28:1332 Diversity Action |
| Case Filed: | Feb 22, 2022 |
| Terminated: | Dec 20, 2022 |
| Last checked: Sunday Aug 21, 2022 4:59 AM EDT |
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Petitioner
Tara O'Connor Roche
as Executor of the Estate of Paul Roche III, and individually 33 Cliffdale Road
Greenwich, CT 06831 |
Represented By
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Respondent
Christopher Ryan Bayles
108 Jerusalem Road
Cohasset, MA 02025 |
Represented By
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Respondent
RBC Capital Markets, LLCs
200 Vesey Street
New York, NY 10281 |
Represented By
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| Docket last updated: 04/25/2025 11:59 PM EDT |
| Tuesday, December 20, 2022 | ||
| 27 | 27
order
Judgment - Clerk
Tue 12/20 9:29 AM
CLERK'S JUDGMENT re:26 Memorandum & Opinion in favor of RBC Capital Markets, LLCs, Christopher Ryan Bayles against Tara O'Connor Roche. It is hereby ORDERED, ADJUDGED AND DECREED: That for the reasons stated in the Court's Opinion & Order dated December 19, 2022, O'Connor-Roche's petition to vacate the Award is denied. Dkt. No. 1. Respondents' cross-petition to confirm the Award is granted but their motion for attorney's fees is denied. (Signed by Clerk of Court Ruby Krajick on 12/20/2022) (km) |
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Att: 1
Right to Appeal
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| Monday, December 19, 2022 | ||
| 26 | 26
18
pgs
order
Memorandum & Opinion
Mon 12/19 5:07 PM
OPINION & ORDER re:12 CROSS MOTION to Confirm Arbitration . filed by RBC Capital Markets, LLCs, Christopher Ryan Bayles. For the reasons discussed above, O'Connor-Roche's petition to vacate the Award is denied. Dkt. No. 1. Respondents' cross-petition to confirm the Award is granted but their motion for attorney's fees is denied. Dkt. No. 12. (Signed by Judge Louis L. Stanton on 12/19/2022) (rro) |
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| Tuesday, November 01, 2022 | ||
| 25 | 25
notice
Notice of Change of Address
Tue 11/01 10:55 AM
NOTICE OF CHANGE OF ADDRESS by Benjamin Wood on behalf of Christopher Ryan Bayles, RBC Capital Markets, LLCs. New Address: Greenberg Traurig, LLP, 1 North Lexington Avenue, White Plains, NY, United States 10601, 914-286-2990..(Wood, Benjamin) |
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| Monday, May 09, 2022 | ||
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notice
Notice of Redesignation to Magistrate Judge
Mon 05/09 1:12 PM
NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Valerie Figueredo. Please note that this is a reassignment of the designation only..(rdz) |
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| Friday, April 29, 2022 | ||
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notice
Notice of Redesignation to Magistrate Judge
Fri 04/29 2:27 PM
NOTICE OF REDESIGNATION TO ANOTHER MAGISTRATE JUDGE. The above entitled action has been redesignated to Magistrate Judge Valerie Figueredo. Please note that this is a reassignment of the designation only. (sac) |
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| Wednesday, April 13, 2022 | ||
| 24 | 24
respm
Reply Memorandum of Law in Support of Motion
Wed 04/13 10:14 PM
REPLY MEMORANDUM OF LAW in Support re:12 CROSS MOTION to Confirm Arbitration . . Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| Wednesday, April 06, 2022 | ||
| 23 | 23
respm
Declaration in Support of Motion
Wed 04/06 6:43 PM
DECLARATION of Robert Kraus in Support re:7 JOINT LETTER MOTION for Conference re:1 Notice of Removal,, re anticipated joint motion to seal certain exhibits currently available on the pubic docket addressed to Judge Louis L. Stanton from George Sullivan dated March 3, 2022.. Document filed by Tara O'Connor Roche..(Kraus, Robert) |
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Att: 1
Exhibit Ex. A- Hearing Transcripts (Redacted)
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| 22 | 22
respm
Reply Memorandum of Law in Support of Motion
Wed 04/06 6:40 PM
REPLY MEMORANDUM OF LAW in Support re:7 JOINT LETTER MOTION for Conference re:1 Notice of Removal,, re anticipated joint motion to seal certain exhibits currently available on the pubic docket addressed to Judge Louis L. Stanton from George Sullivan dated March 3, 2022. . Document filed by Tara O'Connor Roche..(Kraus, Robert) |
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| Tuesday, March 22, 2022 | ||
| 21 | 21
2
pgs
order
Order on Motion to Seal
Tue 03/22 4:10 PM
ORDER terminating18 Letter Motion to Seal. I have reviewed the redactions. They fall comfortably within this class of material widely viewed as of no or slight public concern, and entitled to remain private and publicized. The redactions are allowed. (Signed by Judge Louis L. Stanton on 3/22/2022) (rro) |
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| 20 | 20
1
pgs
order
Order on Motion for Extension of Time
Tue 03/22 3:42 PM
REVISED SCHEDULING ORDER granting19 Letter Motion for Extension of Time. Petitioner shall file a single, combined brief and supporting declaration, if necessary, in further support of the Petition to Vacate Arbitration Award (ECF No. 1-1) and in opposition to Respondents' Cross-Motion to Confirm Arbitration Award (ECF No. 12) in the above-captioned action on or before April 6, 2022. Respondents shall file any reply brief in further support of the Cross-Motion to Confirm Arbitration Award on or before April 13, 2022. IT IS SO ORDERED. (Signed by Judge Louis L. Stanton on 3/22/2022) (rro) |
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utility
Set/Reset Deadlines
Tue 03/22 3:43 PM
Set/Reset Deadlines: Responses due by 4/6/2022 Replies due by 4/13/2022. (rro) |
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| Monday, March 21, 2022 | ||
| 19 | 19
motion
Extension of Time
Mon 03/21 3:13 PM
JOINT LETTER MOTION for Extension of Time addressed to Judge Louis L. Stanton from Robert Kraus and George Sullivan dated March 21, 2022. Document filed by Tara O'Connor Roche..(Kraus, Robert) |
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| Thursday, March 17, 2022 | ||
| 18 | 18
motion
Seal
Thu 03/17 4:21 PM
LETTER MOTION to Seal permanently Document# 16 addressed to Judge Louis L. Stanton from George D. Sullivan dated March 17, 2022. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| 17 | 17
respm
Declaration in Opposition to Motion
Thu 03/17 1:47 PM
DECLARATION of George D. Sullivan in Opposition re:7 JOINT LETTER MOTION for Conference re:1 Notice of Removal,, re anticipated joint motion to seal certain exhibits currently available on the pubic docket addressed to Judge Louis L. Stanton from George Sullivan dated March 3, 2022.. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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Att: 1
Exhibit 1 - July 2020 Statement of Claim (REDACTED),
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Att: 2
Exhibit 2 - Respondent's First Arbitrability Motion,
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Att: 3
Exhibit 3 - October 2020 Amended Statement of Claim (REDACTED),
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Att: 4
Exhibit 4 - Claimant's Opposition To Respondent's First Arbitrability Motion,
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Att: 5
Exhibit 5 - First FINRA Forum Decision,
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Att: 6
Exhibit 6 - November 2020 Statement of Claim (REDACTED),
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Att: 7
Exhibit 7 - Respondent's Second Arbitrability Motion,
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Att: 8
Exhibit 8 - Petitioner's Sanctions Motion,
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Att: 9
Exhibit 9 - Second FINRA Forum Decision,
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Att: 10
Exhibit 10 - Statement of Answer (REDACTED),
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Att: 11
Exhibit 11 - Pre-Hearing Statement (REDACTED),
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Att: 12
Exhibit 12 - Hearing Transcript Excerpts (REDACTED),
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Att: 13
Exhibit 13 - Submission Agreements,
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Att: 14
Exhibit 14 - Hearing Exhibit 58
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| Wednesday, March 16, 2022 | ||
| 16 | 16
respm
Declaration in Opposition to Motion
Wed 03/16 9:28 PM
DECLARATION of George D. Sullivan in Opposition re:7 JOINT LETTER MOTION for Conference re:1 Notice of Removal,, re anticipated joint motion to seal certain exhibits currently available on the pubic docket addressed to Judge Louis L. Stanton from George Sullivan dated March 3, 2022.. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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Att: 1
Exhibit 1 - July 2020 Statement of Claim (REDACTED),
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Att: 2
Exhibit 2 - Respondent's First Arbitrability Motion,
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Att: 3
Exhibit 3 - October 2020 Amended Statement of Claim (REDACTED),
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Att: 4
Exhibit 4 - Claimant's Opposition To Respondent's First Arbitrability Motion,
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Att: 5
Exhibit 5 - First FINRA Forum Decision,
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Att: 6
Exhibit 6 - November 2020 Statement of Claim (REDACTED),
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Att: 7
Exhibit 7 - Respondent's Second Arbitrability Motion,
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Att: 8
Exhibit 8 - Petitioner's Sanctions Motion,
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Att: 9
Exhibit 9 - Second FINRA Forum Decision,
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Att: 10
Exhibit 10 - Statement of Answer (REDACTED),
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Att: 11
Exhibit 11 - Pre-Hearing Statement (REDACTED),
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Att: 12
Exhibit 12 - Hearing Transcript Excerpts (REDACTED),
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Att: 13
Exhibit 13 - Submission Agreements,
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Att: 14
Exhibit 14 - Hearing Exhibit 58
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| 15 | 15
respm
Declaration in Opposition to Motion
Wed 03/16 9:14 PM
***SELECTED PARTIES***DECLARATION of George D. Sullivan in Opposition re:7 JOINT LETTER MOTION for Conference re:1 Notice of Removal,, re anticipated joint motion to seal certain exhibits currently available on the pubic docket addressed to Judge Louis L. Stanton from George Sullivan dated March 3, 2022.. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs, Tara O'Connor Roche.Motion or Order to File Under Seal:11 .(Sullivan, George) |
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Att: 1
Exhibit 1 - July 2020 Statement of Claim,
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Att: 2
Exhibit 2 - Respondent's First Arbitrability Motion,
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Att: 3
Exhibit 3 - October 2020 Amended Statement of Claim,
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Att: 4
Exhibit 4 - Claimant's Opposition To Respondent's First Arbitrability Motion,
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Att: 5
Exhibit 5 - First FINRA Forum Decision,
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Att: 6
Exhibit 6 - November 2020 Statement of Claim,
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Att: 7
Exhibit 7 - Respondent's Second Arbitrability Motion,
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Att: 8
Exhibit 8 - Petitioner's Sanctions Motion,
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Att: 9
Exhibit 9 - Second FINRA Forum Decision,
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Att: 10
Exhibit 10 - Statement of Answer,
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Att: 11
Exhibit 11 - Pre-Hearing Statement,
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Att: 12
Exhibit 12 - Hearing Transcript Excerpts,
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Att: 13
Exhibit 13 - Submission Agreements,
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Att: 14
Exhibit 14 - Hearing Exhibit 58
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| 14 | 14
30+
pgs
respm
Memorandum of Law in Support of Motion
Wed 03/16 9:03 PM
MEMORANDUM OF LAW in Support re:12 CROSS MOTION to Confirm Arbitration . and in Opposition to Petitioner's Petition to Vacate Arbitration Award (Doc# 1-1) REDACTED . Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| 13 | 13
respm
Memorandum of Law in Support of Motion
Wed 03/16 8:59 PM
***SELECTED PARTIES*** MEMORANDUM OF LAW in Support re:12 CROSS MOTION to Confirm Arbitration . and in Opposition to Petitioner's Petition to Vacate Arbitration Award (Doc# 1-1) . Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs, Tara O'Connor Roche. Motion or Order to File Under Seal:11 .(Sullivan, George) |
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| 12 | 12
motion
Confirm Arbitration
Wed 03/16 8:52 PM
CROSS MOTION to Confirm Arbitration . Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| 11 | 11
motion
Seal
Wed 03/16 8:48 PM
LETTER MOTION to Seal and Redact certain sensitive financial information addressed to Judge Louis L. Stanton from George Sullivan dated March 16, 2022. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| 10 | 10
notice
Notice of Appearance
Wed 03/16 8:44 PM
NOTICE OF APPEARANCE by James Wilson Perkins on behalf of Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Perkins, James) |
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| Monday, March 14, 2022 | ||
| 9 | 9
4
pgs
order
Order
Mon 03/14 4:35 PM
ORDER: Upon my review, the requested redactions are very few, and each is reasonably tailored to protect sensitive financial information. The parties may file redacted versions of the documents to the extent that the redactions are limited to those proposed in this motion. As to the parties' request for leave to seek parallel relief in state court, their activities in this respect in the Supreme Court of the State of New York are of no concern to this Court. (Signed by Judge Louis L. Stanton on 3/14/2022) (rro) |
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| Friday, March 11, 2022 | ||
| 8 | 8
notice
Notice of Appearance
Fri 03/11 4:22 PM
NOTICE OF APPEARANCE by Robert David Kraus on behalf of Tara O'Connor Roche..(Kraus, Robert) |
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| Thursday, March 03, 2022 | ||
| 7 | 7
motion
Conference
Thu 03/03 10:29 AM
JOINT LETTER MOTION for Conference re:1 Notice of Removal,, re anticipated joint motion to seal certain exhibits currently available on the pubic docket addressed to Judge Louis L. Stanton from George Sullivan dated March 3, 2022. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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Att: 1
Exhibit A-7 - FA Employment Agreement Amendment - Redacted (ECF No. 1-8),
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Att: 2
Exhibit A-9 - Emails re Roche - Redacted (ECF No. 1-10),
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Att: 3
Exhibit A-10 - Emails re Transition Agreement - Redacted (ECF No. 1-11),
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Att: 4
Exhibit A-11 - Email re Transition Agreement - Redacted (ECF No. 1-12),
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Att: 5
Exhibit A-13 - Amended Statement of Claim - Redacted (ECF No. 1-14),
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Att: 6
Exhibit A-19 - Hearing Transcript Excerpts - Redacted (ECF No. 1-20),
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Att: 7
Exhibit A-21 - Petitioner's Memo of Law - Redacted (ECF No. 1-22)
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| Monday, February 28, 2022 | ||
| 6 | 6
misc
Rule 7.1 Corporate Disclosure Statement
Mon 02/28 3:29 PM
RULE 7.1 CORPORATE DISCLOSURE STATEMENT. Identifying Corporate Parent Royal Bank of Canada for RBC Capital Markets, LLCs. Document filed by Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| Friday, February 25, 2022 | ||
| 5 | 5
notice
Notice of Appearance
Fri 02/25 10:12 AM
NOTICE OF APPEARANCE by Benjamin Wood on behalf of RBC Capital Markets, LLCs..(Wood, Benjamin) |
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| 4 | 4
notice
Notice of Appearance
Fri 02/25 10:09 AM
NOTICE OF APPEARANCE by George Dennis Sullivan on behalf of Christopher Ryan Bayles, RBC Capital Markets, LLCs..(Sullivan, George) |
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| Thursday, February 24, 2022 | ||
| 3 | 3
service
Certificate of Service Other
Thu 02/24 5:09 PM
CERTIFICATE OF SERVICE of Notice of Removal and Attachments served on Kraus & Zuchlewski LLP, attorneys for Petitioner Tara O'Connor Roche as Executor of the Estate of Paul Roche III and Individually on February 23, 2022. Service was made by Mail. Document filed by Christopher Ryan Bayles..(Wood, Benjamin) |
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| Wednesday, February 23, 2022 | ||
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misc
Notice to Attorney Regarding Party Modification
Wed 02/23 1:34 PM
***NOTICE TO ATTORNEY REGARDING PARTY MODIFICATION. Notice to attorney Benjamin Wood. The party information for the following party/parties has been modified: Tara O'Connor-Roche. The information for the party/parties has been modified for the following reason/reasons: party role was entered incorrectly; party text was omitted. (sj) |
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misc
Notice to Attorney Regarding Case Opening Statistical Error Correction
Wed 02/23 1:38 PM
***NOTICE TO ATTORNEY REGARDING CIVIL. CASE OPENING STATISTICAL ERROR CORRECTION: Notice to attorney Benjamin Wood. The following case opening statistical information was erroneously selected/entered: Fee Status code due (due). The following correction(s) have been made to your case entry: the Fee Status code has been modified to pd (paid). (sj) |
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notice
Case Opening Initial Assignment Notice
Wed 02/23 1:40 PM
CASE OPENING INITIAL ASSIGNMENT NOTICE: The above-entitled action is assigned to Judge Louis L. Stanton. Please download and review the Individual Practices of the assigned District Judge, located at[LINK:https://nysd.uscourts.gov/judges/district-judges] . Attorneys are responsible for providing courtesy copies to judges where their Individual Practices require such. Please download and review the ECF Rules and Instructions, located at[LINK:https://nysd.uscourts.gov/rules/ecf-related-instructions] ..(sj) |
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utility
Case Designation
Wed 02/23 1:42 PM
Magistrate Judge Debra C. Freeman is so designated. Pursuant to 28 U.S.C. Section 636(c) and Fed. R. Civ. P. 73(b)(1) parties are notified that they may consent to proceed before a United States Magistrate Judge. Parties who wish to consent may access the necessary form at the following link:[LINK:https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf] . (sj) |
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utility
Case Designated ECF
Wed 02/23 1:42 PM
Case Designated ECF. (sj) |
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| Tuesday, February 22, 2022 | ||
| 2 | 2
misc
Civil Cover Sheet
Tue 02/22 11:25 PM
CIVIL COVER SHEET filed..(Wood, Benjamin) |
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| 1 | 1
4
pgs
notice
Notice of Removal
Tue 02/22 11:23 PM
NOTICE OF REMOVAL from Supreme Court, County of New York. Case Number: 650796/2022. (Filing Fee $ 402.00, Receipt Number ANYSDC-25766297).Document filed by Christopher Ryan Bayles..(Wood, Benjamin) |
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Att: 1
Exhibit A,
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Att: 2
Exhibit A-1,
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Att: 3
Exhibit A-2,
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Att: 4
Exhibit A-3,
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Att: 5
Exhibit A-4,
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Att: 6
Exhibit A-5,
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Att: 7
Exhibit A-6,
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Att: 8
Exhibit A-7,
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Att: 9
Exhibit A-8,
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Att: 10
Exhibit A-9,
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Att: 11
Exhibit A-10,
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Att: 12
Exhibit A-11,
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Att: 13
Exhibit A-12,
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Att: 14
Exhibit A-13,
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Att: 15
Exhibit A-14,
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Att: 16
Exhibit A-15,
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Att: 17
Exhibit A-16,
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Att: 18
Exhibit A-17,
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Att: 19
Exhibit A-18,
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Att: 20
Exhibit A-19,
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Att: 21
Exhibit A-20,
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Att: 22
Exhibit A-21,
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Att: 23
Exhibit A-22,
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Att: 24
Exhibit B,
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Att: 25
Exhibit C,
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Att: 26
Exhibit D
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